Are you a proactive and solutions-oriented professional with a keen understanding of risk and compliance?
As our Risk & Compliance Officer, you will play a crucial role in upholding our firm’s integrity by supporting our comprehensive risk and compliance framework, working collaboratively with internal stakeholders to foster a strong culture of compliance.
If you are passionate about maintaining high ethical standards and possess excellent problem-solving skills, we invite you to join our team and make a tangible impact on our firm’s success.

JOB SUMMARY:

The Risk & Compliance Officer is responsible for supporting the firm’s risk and compliance framework, ensuring adherence to legal and regulatory obligations. A key aspect of this role involves responding to compliance-related queries, assisting with negligence claims, and supporting the resolution of client complaints. The Risk & Compliance Officer will work closely with internal stakeholders to promote a culture of compliance and mitigate risks related to regulatory breaches and professional liability.

• Act as a key point of contact for internal compliance queries, providing guidance on regulatory obligations, firm policies, and best practices.
• Assist in the investigation and resolution of client complaints in line with the firm’s policies and regulatory requirements.
• Support the management of professional negligence claims, working with internal teams and external legal advisers where necessary.
• Ensure compliance with the Solicitors Regulation Authority (SRA) Code of Conduct, Anti-Money Laundering (AML) regulations, and other legal frameworks.
• Conduct risk assessments related to client matters, transactions, and operational activities, escalating concerns as needed.
• Maintain and update compliance records, including complaints registers, risk assessments, and negligence claim documentation.
• Support internal audits and compliance monitoring, identifying areas for improvement and ensuring remedial actions are implemented.
• Assist in liaising with regulatory bodies such as the Legal Ombudsman, SRA, and insurers in relation to complaints and negligence claims.
• Contribute to the continuous improvement of the firm’s risk management and compliance policies, procedures, and controls.